{"id":10315,"date":"2021-12-03T16:50:31","date_gmt":"2021-12-03T21:50:31","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10315"},"modified":"2021-12-03T16:50:31","modified_gmt":"2021-12-03T21:50:31","slug":"finra-suspends-broker-jerry-rice","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-jerry-rice\/","title":{"rendered":"FINRA Suspends Broker Jerry Rice"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10316 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/12\/Jerry-Rice.jpg\" alt=\"Jerry Rice (CRD#: 375290) is a previously registered broker advisor whose last known employer was Raymond James Financial Services (CRD#: 6694) of Tinton Falls, New Jersey. His previous employers include Robert Thomas Securities (CRD#: 10147) of St. Petersburg, FL, Smith Barney (CRD#: 7059) of New York City and Lehman Brothers (CRD#: 7506), also of New York City. He has been in the industry since 1968.  Jerry Rice was allowed to voluntarily resign from Raymond James after it was discovered that he received monetary gifts in excess of the yearly limits from one of his elderly clients, an 89-year-old widow. He and several family members received a total of $477,000 from this client.  However, like many FINRA broker dealers, Raymond James prohibits such gifts and bequests due to a conflict of interest. From 2013 through 2017, Jerry Rice attested in his yearly compliance questionnaires that he understood that brokers were strictly prohibited from receiving monetary gifts from clients without the firm\u2019s permission. Brokers are also prohibited from being named beneficiaries in their wills. Should the broker discover that they have been unknowingly named, he or she is required to immediately notify the firm. The exception is if the client is also an immediate relative.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/12\/Jerry-Rice.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/12\/Jerry-Rice-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Jerry Rice (<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/375290\" target=\"_blank\">CRD#: 375290<\/a>) is a previously registered broker\/advisor whose last known employer was Raymond James Financial Services (CRD#: 6694) of Tinton Falls, New Jersey. His previous employers include Robert Thomas Securities (CRD#: 10147) of St. Petersburg, FL, Smith Barney (CRD#: 7059) of New York City and Lehman Brothers (CRD#: 7506), also of New York City. He has been in the industry since 1968. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-jerry-rice\/#more-10315\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Jerry Rice (CRD#: 375290) is a previously registered broker\/advisor whose last known employer was Raymond James Financial Services (CRD#: 6694) of Tinton Falls, New Jersey. His previous employers include Robert Thomas Securities (CRD#: 10147) of St. Petersburg, FL, Smith Barney (CRD#: 7059) of New York City and Lehman Brothers (CRD#: 7506), also of New York [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580],"tags":[],"class_list":["post-10315","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Suspends Broker Jerry Rice &#8212; Securities Arbitration Lawyers Blog<\/title>\n<meta name=\"description\" content=\"Jerry Rice is a previously registered broker advisor whose last known employer was Raymond James Financial Services of Tinton Falls, NJ.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-jerry-rice\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Suspends Broker Jerry Rice &#8212; 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